CONDUCTING INTERNAL COMPLIANCE AUDITS ✅ BUSINESS ✅ SERVICES

Stage 1. Preliminary Analysis and Audit Planning

Lawyer's Actions:

Defining compliance areas: financial, HR, tax, privacy, etc.
Aligning audit objectives with company management
Preparing audit plan: schedule, scope, compliance criteria
Collecting and analyzing applicable regulatory requirements (considering state, business type)

Stage 2. Audit Execution (Documentary and Practical Review)

Lawyer's Actions:

Analysis of company policies and procedures: internal regulations, contracts, forms

Review of HR, accounting, legal, and technical documentation

Assessment of actual employee practices against regulatory requirements

Conducting interviews with responsible personnel (HR, finance, IT)

Cost: $3,000 - $7,000
(price depends on company size, number of departments, complexity of regulatory requirements)

Stage 3. Preparation of Audit Results Report

Lawyer's Actions:

Preparation of written report including:

identified violations or risks;
compliance level assessment;
legal consequences of non-compliance.

Providing recommendations for remediation.
Development of "compliance action plan" - a step-by-step implementation roadmap.

Stage 4. Legal Support for Implementation of Recommendations (Optional)

Lawyer's Actions:

Development or updating of internal policies and procedures

Preparation of new document templates, contracts, internal guidelines

Employee compliance training (compliance training)

Legal support for company operational changes

Cost: $2,000 - $6,000
(depends on scope of recommendations, number of documents)

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Internal Compliance Audit for US Businesses

Internal compliance audit is an essential risk management component that helps US businesses identify discrepancies with legislation, internal policies, and industry standards. Timely audits help avoid fines, operational shutdowns, or license revocations.

What's Included in the Internal Compliance Audit Service

Our legal service covers comprehensive checks in high-risk compliance areas, including:

Company policy audits for compliance with federal and local regulations (e.g., labor laws, privacy, anti-corruption, tax regulations);
Contract database and internal documentation analysis;
HR processes, payroll, and contractor agreements review;
Identification of potential conflicts of interest and compliance risks;
Preparation of written reports with remediation recommendations.

Why Legal Counsel is Essential for Compliance Audits

Self-conducted audits often lack objectivity or thoroughness. Compliance-specialized attorneys provide:

Expert legal analysis of all key business aspects;
Up-to-date knowledge of US regulatory changes;
Minimization of regulatory penalty risks;
Confidential handling of audit findings;
Protection of company interests when violations are identified.

Legal audits are particularly crucial before fundraising, licensing, government tenders, or M&A transactions.

Attorney's Role During Internal Compliance Audits

Attorneys conduct legal analysis of documentation, internal processes and policies, including:

Corporate structure and regulatory compliance review;
Licenses, permits and industry standard compliance verification (e.g., HIPAA, CCPA, ISO, FINRA);
Assessment of internal compliance culture implementation;
Identification of legal vulnerabilities with clear remediation plans.

For identified violations - develops phased correction plans and can oversee implementation.

Service Availability Conditions

Our legal firm provides internal compliance audits:

Upon client request (proactive audit);
Following regulatory changes in the industry;
In response to investor or partner requirements;
When preparing for certifications or external inspections;
After internal incidents or employee complaints.

Services can be one-time or provided through legal retainer agreements.

Additional Benefits

Complete confidentiality and audit independence.
Integration with corporate governance strategy.
Provision of updated policy templates and guidelines.
Preparation for external audits, including employee training.

Compliance audit is not just an inspection, but a powerful strategic risk management tool. The Consultant legal team will help your company operate confidently, legally and safely in any US regulatory environment.